Brian J. Devinney
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian James Devinney was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1998. Brian had worked at 8 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2011 - July 25, 2013
LEGEND EQUITIES CORPORATION
September 21, 2011 - October 20, 2011
THE HUNTINGTON INVESTMENT COMPANY
December 9, 2010 - August 19, 2011
ESSEX NATIONAL SECURITIES, LLC
January 29, 2010 - December 15, 2010
EQUITABLE ADVISORS, LLC
January 21, 2009 - January 12, 2010
GWN SECURITIES INC.
December 5, 2008 - January 22, 2009
MSI FINANCIAL SERVICES, INC.
December 1, 2000 - November 10, 2008
EQUITABLE ADVISORS, LLC
September 24, 1999 - April 20, 2000
NEW ENGLAND SECURITIES
July 6, 1998 - September 20, 1999
WADDELL & REED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LEGEND EQUITIES CORPORATION
CRD#: 30999 / SEC#: , 8-45286
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEGEND GROUP HOLDINGS, LLC | DIRECT OWNER | |
| ANTONIADES, ADAM NICHOLAS | DIRECTOR | 2261744 |
| BONNEAU, CATHERINE MCCORMACK | DIRECTOR | 2899706 |
| GINGRICH, MIRALDA | VICE PRESIDENT | 1985431 |
| GRIFFEY, ENA MARIA | FINOP | 4460199 |
| HALEY, BRIAN JOSEPH | CHIEF COMPLIANCE OFFICER | 4361815 |
| MEHROTRA, SHASHI | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2640875 |
| RUDNICK, REGINA MARY | VICE PRESIDENT | 2373530 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
